Self-Directed Professional Development at Financial Services Networking & Development (2023-10 – Present)
Focused on targeted upskilling and industry engagement while evaluating the next long‑term opportunity, completing structured coursework in asset management, regulatory change, operational risk, and project management. Expanded professional network through NYC finance groups and contributed project‑management and operations expertise to community organizations, maintaining hands‑on collaboration and leadership.
Finance Change Management at Nomura (2023-05 – 2023-09)
Effectively manages various business initiatives to support the CFO office.
- Established daily NGFP Stock report for executive management, collaborating with SME's for accurate data and timely delivery.
- Aligned and Standardized Instinet transfer pricing approach with Nomura's.
- Coordinated with Global Middle Office in restructuring and building out of new recalls monitor. This initiative resulted in the firm's fixed-income client sales to be covered systematically.
- Liaised directly with staff across the firm (Global Middle Office, IT, Front Office, Legal, Compliance)
VP – Compliance-Change Management at Credit Suisse (2022-02 – 2023-02)
- Managed Global Project to align Compliances roles and responsibilities
- Monitored, tracked, and reported project progress to the key partners and ensured the actions, issues, and risks were identified and managed efficiently.
- Coordinated with the Operational Risk team and Investment Banking Compliance and Audit teams globally to complete components of the Risk and Control Self-Assessment.
Project Manager – Business Transformation at HSBC Global Asset Management (2015-05 – 2020-12)
Led numerous projects designed to boost revenue, reduce costs, improve efficiency and customer experience.
- Created Metrics/KPI's for operations. Analyzed the metrics and identified key areas for improvement.
- Implemented HSBC Global Asset Management Cyber Security Policy to satisfy an audit exception.
- Created Test Plans and Launched New Security Types and Trading Platforms. These include: To Be Announced (TBA's), Bank Loans, China Bonds, Trumid, Liquidnet, New York Federal Reserve (Repo Operations) -creating higher availability for liquidity and trading
- Configured new and revised internal workflows to deliver a comprehensive audit trail (new clients and brokers).
- Developed high-performing Project Teams for new initiatives while outlining urgencies and ensuring alignment with business transformation requirements.
Consultant at Cohen & Steers (2014-08 – 2015-02)
Responsible for all facets of trade processing for both international and domestic securities, FX, and derivatives, coupled with fulfilling the role of liaison between Custodian and Broker for pre and post settlement.
- Communicated trade notifications/settlements for custodians and fund accounting agents.
- Oversaw The Depository Trust Corporation (DTCC) affirmations and Central Trade Management (CTM) Confirmation of trade executions, operating effectively within deadlines, rectifying issues, and mitigate risks.
- Worked with Performance Team and others preparing and distributing the firm's global institutional client reporting packages and fund factsheets.
Assistant Vice President, Investment Manager Services-Client Onboarding at State Street Bank & Trust Co. (2007-04 – 2014-07)
Served as the main point of contact for Client Service Teams with Deutsche Asset Management (DeAM) Operations to ensure all deliverables were met. Conducted monthly compliance checks and validations across operations.
- Led projects while supporting the transition of Deutsche Bank's systems to State Street.
- Accountable for complex requests, including in-kind transfers, account migrations, and new product launches, while running events with external partners (custodians, fund accountants, and transition managers).
- Established a reputation for coordinating events with internal groups revolving around client reporting, performance, trade support, reconciliations, and portfolio management.
- Directed, as part of a team, client events (New Wins, Terminations, Change in Mandate, and Custody Changes) in partnership with front and back-office teams from an operational perspective
Assistant Vice President, Operations at Credit Suisse Asset Management (2000-05 – 2007-03)
- Managed 5 operational staff members responsible for trade confirmation (via Oasys) and trade settlement.
- Trade Settlement consisted of Derivatives, fixed income and equities
- Managed implementation of new accounts from concept to completion.
- Relationship Manager for investment operations with 25 brokers dealers and 15 custodian banks.
